FURTHER CHEMICAL CONTROL REGIMES:
NARCOTIC DRUGS AND PSYCHOTROPIC SUBSTANCES
Graham S Pearson
HSP Advisory Board
In previous articles for the CBW Conventions Bulletin, the
regimes for the control of transfers of “banned and severely
restricted chemicals” — the Rotterdam Convention for
Prior Informed Consent — and for the control of High
Production Volume (HPV) chemicals have been considered
and their potential relevance to the Chemical Weapons
Convention regime explored.1 This article continues this
process by considering further control regimes for
chemicals — those for narcotic drugs and psychotropic
substances. These are also dual purpose chemicals as they
have permitted medical uses as well as prohibited uses.
They are also subject to international conventions requiring
the monitoring of manufacture, production and
international trade of such substances and of precursors and
essential chemicals used in the illicit manufacture of
narcotic drugs and psychotropic substances.
The control regimes for such drugs and psychotropic
substances is of particular interest as the use of such
materials for purposes other than those not prohibited under
the Chemical Weapons Convention (CWC) — purposes not
prohibited under the CWC are defined in Article II
Definitions and Criteria as meaning:
(a) Industrial, agricultural, research, medical,
pharmaceutical or other peaceful purposes;
(b) Protective purposes, namely those purposes directly
related to protection against toxic chemicals and to
protection against chemical weapons;
(c) Military purposes not connected with the use of
chemical weapons and not dependent on the use of the
toxic properties of chemicals as a method of warfare;
(d) Law enforcement including domestic riot control
purposes.
— would be subject to the general purpose criterion of the
CWC and, in the case of materials of natural origin, by the
general purpose criterion of the Biological and Toxin
Weapons Convention (BWC). Insofar as some narcotic
drugs and psychotropic substances are the natural products
of living material — or synthetically produced analogues of
such natural products — they can be regarded as falling
under both the CWC and the BWC.
The control of narcotic drugs has been of global concern
ever since the first international conference on the subject
was held in Shanghai in 1909. The international control
system has been developed under a number of treaties
starting in 1912 with the adoption of the International Opium
Convention. During the past 40 years a series of treaties
adopted under the auspices of the United Nations require that
Governments exercise control over the production and
distribution of narcotic drugs and psychotropic substances,
combat drug abuse and illicit traffic, and maintain the
necessary national infrastructure and report to international
organs on their actions.
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There are four legal instruments which constitute the
international regime for narcotic drugs and psychotropic
substances: the 1961 Single Convention on Narcotic Drugs;
the 1971 Convention on Psychotropic Substances; the 1972
Protocol Amending the Single Convention; and the 1988
United Nations Convention against Illicit Traffic in Narcotic
Drugs and Psychotropic Substances.
The Single Convention on Narcotic Drugs 1961
This was adopted by states at a special international
conference in 1961. It entered into force in 1964 after the
deposit of the 20th instrument of ratification. This
Convention replaced the treaties concluded before World
War II on opiates, cannabis and cocaine. At present,
control is exercised under this Convention of some 118
narcotic drugs, including opium and its derivatives, as well
as synthetic narcotics such as methadone and pethidine. As
of 2 January 2001, this Convention had 172 states parties.
The general obligations in Article 4 General Obligations
require the parties to:
take such legislative and administrative measures as may be
necessary:
(a) To give effect to and carry out the provisions of the
Convention within their own territories;
(b) To cooperate with other States in the execution of this
Convention; and
(c) Subject to the provisions of this Convention, to limit
exclusively to medical and scientific purposes the
production, manufacture, export, import, distribution
of, trade in, use and possession of drugs.
The substances under control are divided into four
Schedules. To those familiar with the CWC Schedules, the
schedules for the Single Convention are more complex.
These are detailed in Article 2 Substances under Control:
Schedule I - these drugs are subject to all measures of
control applicable under the Convention and in particular to
those prescribed in certain Articles.
Schedule II - these drugs are subject to the same measures
of control as drugs in Schedule I with the exception of
measures presented in Article 30, paragraphs 2 and 5 in
respect of retail trade.
Schedule III - these drugs are subject to the same measures
of control as preparations containing drugs in Schedule II
except that specific paragraphs of Article 31 and 34 need
not apply and that for the purposes of estimates (Article 19)
and statistics (Article 20), the information required shall be
restricted to the quantities of the drugs used in the
manufacture of such preparations.
Schedule IV — these drugs shall also be included in
Schedule I and subject to all measures of control applicable
to drugs in the latter Schedule and in addition thereto further
measures should the State Party, in its opinion, require such
measures.
Page 2 March 2001
The Convention also details specific measures, in addition
to those applicable to all drugs in Schedule I, for opium, the
coca leaf and cannabis.
A further requirement addresses substances that may be
used in the illicit manufacture of drugs:
The Parties shall use their best endeavours to apply to
substances which do not fall under this Convention, but
which may be used in the illicit manufacture of drugs, such
measures of supervision as may be necessary.
Consequently, Schedule IV contains the most highly
controlled drugs, then Schedule I, then Schedule II and
finally Schedule III. Schedule IV contains 17 drugs
including several substituted fentanyls, cannabis and
heroin, Schedule I contains 106 drugs (which include all the
Schedule IV drugs) including coca leaf, cocaine, fentanyl,
morphine, methadone, opium, pethidine and Schedule II
contains 10 drugs including codeine. Schedule III contains
preparations primarily of drugs in Schedule II containing
not more than 100 milligrams of the drug per dosage unit
and with a concentration of not more than 2.5 per cent in
undivided preparations.
The arrangements for changes to the Schedules are
addressed in Article 3 Changes in the Scope of Control which
places the obligation on a state party or the World Health
Organization (WHO) to notify the Secretary-General of the
United Nations and to furnish him with the information in
support of the notification, should it have information which
in its opinion may require an amendment to any of the
Schedules. The Secretary-General is then required to
transmit such notification, and any information he considers
relevant, to the states parties, to the Commission on Narcotic
Drugs of the UN Economic and Social Council, and, where
the notification has been made by a state party, to the World
Health Organization. Article 3 contains the following:
3. Where the notification relates to a substance not already
in Schedule I or II,
(i) The Parties shall examine in the light of the available
information the possibility of the provisional
application to the substance of an [sic] measures of
control applicable to drugs in Schedule I;
(ii) Pending its decision as provided in subparagraph (iii) of
this paragraph, the Commission may decide that the
Parties shall apply provisionally to that substance all
measures of control applicable to drugs in Schedule I.
The Parties shall apply such measures provisionally to
the substance in question.
(iii)If the World Health Organization finds that the
substance is liable to similar abuse and productive of
similar ill effects as the drugs in Schedule I or Schedule
II or is convertible into a drug, it shall communicate that
finding to the Commission which may, in accordance
with the recommendation of the World Health
Organization, decide that the substance shall be added
to Schedule I or Schedule II.
Article 3 goes on to make provision regarding assignment
of drugs to Schedule IV by stating that:
5. If the World Health Organization finds that a drug in
Schedule I is particularly liable to abuse and to produce ill
effects (paragraph 3) and that such liability is not offset by
substantial therapeutic advantages not possessed by
substances other than drugs in Schedule IV, the Commission
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may, in accordance with the recommendation of the World
Health Organization, place that drug in Schedule IV.
The International Control Organs for the Convention are
specified in Article 5 as being the Commission on Narcotic
Drugs of the Economic and Social Council and the
International Narcotics Control Board (INCB). The
Commission is authorized to consider:
all matters pertaining to the aims of the Convention, and in
particular:
(a) To amend the Schedules in accordance with Article 3; ...
The INCB shall consist of 13 members to be elected by the
Economic and Social Council of which three members
having:
medical, pharmacological or pharmaceutical experience
from a list of at least five persons nominated by the WHO
and ten members from:
a list of persons nominated by the Members of the United
Nations and by Parties which are not Members of the United
Nations.
Members of the INCB shall serve for a period of five years
and may be re-elected.
Article 18 details the information to be provided by states
parties to the Secretary-General as being:
such information as the Commission may request as being
necessary for the performance of its functions, and in
particular:
(a) An annual report on the working of the Convention
within each of their territories;
(b) The text of all laws and regulations from time to time
promulgated in order to give effect to this Convention;
...
(d) The names and addresses of the government authorities
empowered to issue export and import authorizations
and certificates.
The Convention requires parties to submit annually
estimates of drug requirements including the following:
(a) Quantities of drugs to be consumed for medical and
scientific purposes;
(b) Quantities of drugs to be utilized for the manufacture of
other drugs, of preparations in Schedule III, and of
substances not covered by this Convention;
(c) Stocks of drugs to be held as at 31 December of the year
to which the estimates relate; ...
(g) The number of industrial establishments which will
manufacture synthetic drugs; and
(h) The quantities of synthetic drugs to be manufactured by
each of the establishments referred to in the preceding
subparagraph.
The Convention also requires the submission of annual
statistical returns including information on the following:
(a) Production or manufacture of drugs;
(b) Utilization of drugs for the manufacture of other drugs,
of preparations in Schedule III and of substances not
covered by this Convention, and utilization of poppy
straw for the manufacture of drugs;
(c) Consumption of drugs;
(d) Imports and exports of drugs and poppy straw;
(e) Seizures of drugs and disposal thereof;
Page 3 CBWCB 51
 (f) Stocks of drugs as at 31 December of the year to which
the returns relate;
Article 22 addresses the penal provisions required as
follows:
1. (a) Subject to its constitutional limitations, each Party
shall treat as a punishable offence, when committed
intentionally, any action contrary to a law or regulation
adopted in pursuance of its obligations under this
Convention, and shall ensure that serious offences shall be
liable to adequate punishment, particularly by
imprisonment or other penalty of deprivation of liberty.
(b) Notwithstanding the preceding sub-paragraph, when
abusers of psychotropic substances have committed such
offences, the Parties may provide, either as an alternative to
conviction or punishment or in addition to punishment, that
such abusers undergo measures of treatment, education,
after-care, rehabilitation and social reintegration in
conformity with paragraph 1 of article 20.
whilst Article 23 enables a party to adopt more strict or
severe measures of control than those provided by this
Convention if, in its opinion, such measures are desirable or
necessary for the protection of public health and welfare.
The Convention on Psychotropic Substances
This was adopted in 1971 and entered into force in 1976. It
was intended to control drugs not covered by previous
treaties such as hallucinogens, amphetamines, barbiturates,
non-barbiturate sedatives and tranquilizers. Some 111
psychotropic substances are covered, most of them
contained in pharmaceutical products acting on the central
nervous system. The Convention also calls for substances
that have been judged to be particularly dangerous, such as
lysergic acid diethylamide (LSD) to be placed under even
stricter control than narcotic drugs. It also calls for
substances with very wide legitimate medical use to be
controlled in a less stringent way not to hamper their
availability for medical purposes but on the other hand to
avoid their diversion and abuse. As of 2 January 2001, it
had 166 states parties.
This Convention does not have an article containing
general obligations but the aim of the Convention is apparent
from the Preamble in which the parties:
Determined to prevent and combat abuse of such substances
and the illicit traffic to which it gives rise,
Considering that rigorous measures are necessary to restrict
the use of such substances to legitimate purposes,
Recognizing that the use of psychotropic substances for
medical and scientific purposes is indispensable and that
their availability for such purposes should not be unduly
restricted,
The psychotropic substances are again assigned to four
Schedules I, II, III and IV. In this case, Schedule I
substances are subject to the most severe control measures
and Schedule IV to the least severe control measures.
Schedule I These are required to be subject to the special
control measures elaborated in Article 7 which require
parties to:
(a) Prohibit all use except for scientific and very limited
medical purposes by duly authorized persons, in
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medical or scientific establishments which are directly
under the control of their Governments or specifically
approved by them;
(b) Require that manufacture, trade, distribution and
possession be under a special licence or prior
authorization;
(c) Provide for close supervision of the activities and acts
mentioned in paragraphs (a) and (b);
(d) Restrict the amount supplied to a duly authorized person
to the quantity required for his authorized purpose;
(e) Require that persons performing medical or scientific
functions keep records concerning the acquisition of the
substances and the details of their use, such records to
be preserved for at least two years after the last use
recorded therein; and
(f) Prohibit export and import except when both the
exporter and importer are the competent authorities or
agencies of the exporting and importing country or
region, respectively, or other persons or enterprises
which are specifically authorized by the competent
authorities of their country or region for the purpose.
The requirements of paragraph 1 of Article 12 for export
and import authorizations for substances in Schedule II
shall also apply to substances in Schedule I.
In addition, parties are required to:
(i) Require licences for manufacture, trade and distribution
as provided in Article 8 for substances in Schedule II;
(ii) Require medical prescriptions for supply or dispensing
as provided in Article 9 for substances in Schedule II;
(iii)Comply with the obligations relating to export and
import provided in Article 12, except in respect to
another Party having given such notice for the substance
in question;
(iv) Comply with the obligations provided in Article 13 for
substances in Schedule II in regard to prohibition of and
restrictions on export and import;
(v) Furnish statistical reports to the Board in accordance
with paragraph 4 (a) of Article 16; and
(vi) Adopt measures in accordance with Article 22 for the
repression of acts contrary to laws or regulations
adopted pursuant to the foregoing obligations.
Schedule II The requirements on parties are essentially
the same as the Schedule I requirements — but without the
special control measures in Article 7 — to:
(i) Require licences for manufacture, trade and distribution
in accordance with Article 8;
(ii) Require medical prescriptions for supply or dispensing
in accordance with Article 9;
(iii)Comply with the obligations relating to export and
import provided in Article 12, except in respect to
another Party having given such notice for the substance
in question;
(iv) Comply with the obligations of Article 13 in regard to
prohibition of and restrictions on export and import;
(v) Furnish statistical reports to the Board in accordance
with paragraphs 4 (a), (c) and (d) of Article 16; and
(vi) Adopt measures in accordance with Article 22 for the
repression of acts contrary to laws or regulations
adopted pursuant to the foregoing obligations.
Schedule III The requirements on Parties are essentially
the same as the Schedule II requirements — but without the
requirements relating to import provided in Article 12 and
to provide statistical reports — to:
Page 4 March 2001
 (i) Require licences for manufacture, trade and distribution
in accordance with Article 8;
(ii) Require medical prescriptions for supply or dispensing
in accordance with Article 9;
(iii)Comply with the obligations relating to export provided
in Article 12, except in respect to another Party having
given such notice for the substance in question;
(iv) Comply with the obligations of Article 13 in regard to
prohibition of and restrictions on export and import; and
(v) Adopt measures in accordance with Article 22 for the
repression of acts contrary to laws or regulations
adopted pursuant to the foregoing obligations.
Schedule IV The requirements on parties are essentially
the same as the Schedule III requirements — but without the
requirements to require medical prescriptions or to comply
with the obligations relating to export in Article 12 — to:
(i) Require licences for manufacture, trade and distribution
in accordance with Article 8;
(ii) Comply with the obligations of Article 13 in regard to
prohibition of and restrictions on export and import; and
(iii)Adopt measures in accordance with Article 22 for the
repression of acts contrary to laws or regulations
adopted pursuant to the foregoing obligations.
Schedule I with the most highly controlled substances
contains some 27 psychotropic substances including LSD,
Schedule II contains 15 substances including amphetamine
and phenylcyclidine, Schedule III contains 9 substances
including several barbiturates and Schedule IV contains
some 60 substances including other barbiturates and
diazepam.
The arrangements for changes to the Schedules are in
Article 2 Scope of Control of Substances which requires a
party or the World Health Organization having:
information relating to a substance not yet under
international control which in its opinion may require the
addition of that substance to any of the Schedules of this
Convention
to notify the Secretary-General of the United Nations and
furnish him with the information in support of that
notification. The same procedure also applies when a party
or the WHO has information justifying the transfer of a
substance from one Schedule to another among those
Schedules, or the deletion of a substance from the
Schedules. The Secretary-General shall transmit such
notification, and any information which he considers
relevant, to the parties, to the Commission on Narcotic
Drugs of the Economic and Social Council and, when the
notification is made by a party, to the WHO. If the
information transmitted with such a notification indicates
that the substance is suitable for inclusion in Schedule I or
Schedule II pursuant to paragraph 4, the parties shall
examine, in the light of all information available to them,
the possibility of the provisional application to the
substance of all measures of control applicable to
substances in Schedule I or Schedule II, as appropriate.
Paragraph 4 sets out the procedure for the WHO:
4. If the World Health Organization finds:
(a) That the substance has the capacity to produce
(i) (1) A state of dependence, and
March 2001
(2) Central nervous system stimulation or
depression, resulting in hallucinations or
disturbances in motor function or thinking or
behaviour or perception or mood,
or
(ii) Similar abuse and similar ill effects as a substance
in Schedule I, II, III or IV, and
(b) That there is sufficient evidence that the substance is
being or is likely to be abused so as to constitute a public
health and social problem warranting the placing of the
substance under international control,
the World Health Organization shall communicate to the
Commission an assessment of the substance, including the
extent or likelihood of abuse, the degree of seriousness of
the public health and social problem and the degree of
usefulness of the substance in medical therapy, together
with recommendations on control measures, if any, that
would be appropriate in the light of its assessment.
The Commission on Narcotic Drugs, taking into account
the communication from the World Health Organization,
may add the substance to Schedule I, II, III or IV. The
Commission may seek further information from the World
Health Organization or from other appropriate sources.
The Convention also includes provision in Article 23 for
states parties to introduce stricter control measures if they
consider this desirable or necessary:
A Party may adopt more strict or severe measures of control
than those provided by this Convention if, in its opinion,
such measures are desirable or necessary for the protection
of the public health and welfare.
Article 8 Licences requires parties to ensure that:
the manufacture of, trade (including export and import
trade) in, and distribution of substances listed in Schedules
II, III and IV be under licence or other similar control
measure.
In addition, the parties shall:
(a) Control all duly authorized persons and enterprises
carrying on or engaged in the manufacture of, trade
(including export and import trade) in, or distribution of
substances referred to in paragraph 1;
(b) Control under licence or other similar control measure
the establishments and premises in which such
manufacture, trade or distribution may take place; and
(c) Provide that security measures be taken with regard to
such establishments and premises in order to prevent
theft or other diversion of stocks.
Furthermore, the parties shall require that:
all persons who obtain licences in accordance with this
Convention or who are otherwise authorized ... shall be
adequately qualified for the effective and faithful execution
of the provisions of such laws and regulations as are enacted
in pursuance of this Convention.
Article 12 Provisions relating to International Trade and
Article 13 Prohibition of and Restrictions on Export and
Import set out the requirements in respect of import and
export of psychotropic substances. Article 12 requires that
for substances in Schedule I or II:
(a) Every Party permitting the export or import of
substances in Schedule I or II shall require a separate
import or export authorization, on a form to be
established by the Commission, to be obtained for each
Page 5 CBWCB 51
 such export or import whether it consists of one or more
substances.
(b) Such authorization shall state the international
non-proprietary name, or, lacking such a name, the
designation of the substance in the Schedule, the
quantity to be exported or imported, the pharmaceutical
form, the name and address of the exporter and importer,
and the period within which the export or import must
be effected. If the substance is exported or imported in
the form of a preparation, the name of the preparation,
if any, shall additionally be furnished. The export
authorization shall also state the number and date of the
import authorization and the authority by whom it has
been issued.
(c) Before issuing an export authorization the Parties shall
require an import authorization, issued by the competent
authority of the importing country or region and
certifying that the importation of the substance or
substances referred to therein is approved, and such an
authorization shall be produced by the person or
establishment applying for the export authorization.
(d) A copy of the export authorization shall accompany
each consignment, and the Government issuing the
export authorization shall send a copy to the
Government of the importing country or region.
(e) The Government of the importing country or region,
when the importation has been effected, shall return the
export authorization with an endorsement certifying the
amount actually imported, to the Government of the
exporting country or region.
For substances in Schedule III the requirements are that:
(a) The Parties shall require that for each export of
substances in Schedule III exporters shall draw up a
declaration in triplicate, on a form to be established by
the Commission, containing the following information:
(i) The name and address of the exporter and importer;
(ii) The international non-proprietary name, or, failing
such a name, the designation of the substance in the
Schedule;
(iii) The quantity and pharmaceutical form in which the
substance is exported, and, if in the form of a
preparation, the name of the preparation, if any; and
(iv) The date of despatch.
(b) Exporters shall furnish the competent authorities of their
country or region with two copies of the declaration.
They shall attach the third copy to their consignment.
(c) A Party from whose territory a substance in Schedule
III has been exported shall, as soon as possible but not
later than ninety days after the date of despatch, send to
the competent authorities of the importing country or
region, by registered mail with return of receipt
requested, one copy of the declaration received from the
exporter.
(d) The Parties may require that, on receipt of, the
consignment, the importer shall transmit the copy
accompanying the consignment, duly endorsed stating
the quantities received and the date of receipt, to the
competent authorities of his country or region.
Insofar as the prohibition of and restrictions on export and
import are concerned, the provisions of Article 13 are that:
1. A Party may notify all the other Parties through the
Secretary-General that it prohibits the import into its
country or into one of its regions of one or more
substances in Schedule II, III or IV, specified in its
CBWCB 51
notification. Any such notification shall specify the
name of the substance as designated in Schedule II, III
or IV.
2. If a Party has been notified of a prohibition pursuant to
paragraph 1, it shall take measures to ensure that none
of the. substances specified in the notification is
exported to the country or one of the regions of the
notifying Party.
3. Notwithstanding the provisions of the preceding
paragraphs, a Party which has given notification
pursuant to paragraph 1 may authorize by special import
licence in each case the import of specified quantities of
the substance in question or preparations containing
such substances. ....
The information to be provided by states parties is detailed
in Article 16 and includes the following:
1. The Parties shall furnish to the Secretary-General such
information as the Commission may request as being
necessary for the performance of its functions and in
particular an annual report regarding the working of the
Convention in their territories including information on:
(a) Important changes in their laws and regulations
concerning psychotropic substances; and
(b) Significant developments in the abuse of and the
illicit traffic in psychotropic substances within their
territories.
2. The Parties shall also notify the Secretary-General of
the names and addresses of the governmental authorities
referred to in sub-paragraph (f) of Article 7, in Article
12 and in paragraph 3 of Article 13. Such information
shall be made available to all Parties by the
Secretary-General. ...
4. The Parties shall furnish to the Board annual statistical
reports in accordance with forms prepared by the Board:
(a) In regard to each substance in Schedules I and II, on
quantities manufactured, exported to and imported
from each country or region as well as on stocks
held by manufacturers;
(b) In regard to each substance in Schedules III and IV,
on quantities manufactured, as well as on total
quantities exported and imported;
(c) In regard to each substance in Schedules 11 and III,
on quantities used in the manufacture of exempt
preparations; and
(d) In regard to each substance other than a substance
in Schedule I, on quantities used for industrial
purposes in accordance with sub-paragraph (b) of
Article 4. The quantities manufactured which are
referred to in sub-paragraphs (a) and (b) of this
paragraph do not include the quantities of
preparations manufactured.
The requirements for penal provisions are detailed in
Article 22 and require that:
1. (a) Subject to its constitutional limitations, each Party
shall treat as a punishable offence, when committed
intentionally, any action contrary to a law or
regulation adopted in pursuance of its obligations
under this Convention, and shall ensure that serious
offences shall be liable to adequate punishment,
particularly by imprisonment or other penalty of
deprivation of liberty.
(b) Notwithstanding the preceding sub-paragraph,
when abusers of psychotropic substances have
committed such offences, the Parties may provide,
either as an alternative to conviction or punishment
Page 6 March 2001
 or in addition to punishment, that such abusers
undergo measures of treatment, education,
after-care, rehabilitation and social reintegration in
conformity with paragraph 1 of Article 20.
2. Subject to the constitutional limitations of a Party, its
legal system and domestic law,
(a) (i) If a series of related actions constituting offences
under paragraph 1 has been committed in different
countries, each of them shall be treated as a distinct
offence;
(ii) Intentional participation in, conspiracy to
commit and attempts to commit, any of such
offences, and preparatory acts and financial
operations in connexion with the offences referred
to in this article, shall be punishable offences as
provided in paragraph 1;
(iii) Foreign convictions for such offences shall be
taken into account for the purpose of establishing
recidivism; and
(iv) Serious offences heretofore referred to
committed either by nationals or by foreigners shall
be prosecuted by the Party in whose territory the
offence was committed, or by the Party in whose
territory the offender is found if extradition is not
acceptable in conformity with the law of the Party
to which application is made, and if such offender
has not already been prosecuted and judgement
given.
(b) It is desirable that the offences referred to in
paragraph 1 and paragraph 2 (a) (ii) be included as
extradition crimes in any extradition treaty which
has been or may hereafter be concluded between
any of the Parties, and, as between any of the Parties
which do not make extradition conditional on the
existence of a treaty or on reciprocity, be recognized
as extradition crimes; provided that extradition shall
be granted in conformity with the law of the Party
to which application is made, and that the Party shall
have the right to refuse to effect the arrest or grant
the extradition in cases where the competent
authorities consider that the offence is not
sufficiently serious.
The 1972 Protocol Amending the Single
Convention This has been in force since 1975 and
highlights the need for treatment and rehabilitation of drug
addicts. As of 2 January 2001, it had 161 states parties.
The United Nations Convention against Illicit
Traffic in Narcotic Drugs and Psychotropic
Substances This was adopted in 1988 and entered into
force in 1990 is designed to prevent the laundering of money
obtained from illicit trafficking and to provide concrete
instruments for international law enforcement. As of 2
January 2001, it had 158 states parties.
The Convention includes provisions for the tracing,
freezing and confiscation of proceeds and property derived
from drug trafficking. Courts are empowered to make
available or seize bank, financial or commercial records and
bank secrecy cannot be invoked. The Convention also aims
to bar all havens to drug traffickers and provides for the
extradition of drug traffickers and for mutual legal assistance
between states on drug-related investigations. In addition,
under this Convention states parties commit themselves to
eliminate or reduce illicit demand for drugs, monitor
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precursors and essential chemicals used in the illicit
manufacture of narcotic drugs and psychotropic substances.
Article 2 Scope of the Convention sets out the purpose of
the Convention as being:
to promote co-operation among the Parties so that they may
address more effectively the various aspects of illicit traffic
in narcotic drugs and psychotropic substances having an
international dimension. In carrying out their obligations
under the Convention, the Parties shall take necessary
measures, including legislative and administrative
measures, in conformity with the fundamental provisions of
their respective domestic legislative systems.
It then in Article 3 sets out offences under the Convention
including:
1. Each Party shall adopt such measures as may be necessary
to establish as criminal offences under its domestic law,
when committed intentionally:
(a) (i) The production, manufacture, extraction,
preparation, offering, offering for sale, distribution,
sale, delivery on any terms whatsoever, brokerage,
dispatch, dispatch in transit, transport, importation
or exportation of any narcotic drug or any
psychotropic substance contrary to the provisions of
the 1961 Convention, the 1961 Convention as
amended or the 1971 Convention;
(ii) The cultivation of opium poppy, coca bush or
cannabis plant for the purpose of the production of
narcotic drugs contrary to the provisions of the 1961
Convention and the 1961 Convention as amended;
(iii) The possession or purchase of any narcotic drug or
psychotropic substance for the purpose of any of the
activities enumerated in (i) above;
(iv) The manufacture, transport or distribution of
equipment, materials or of substances listed in
Table I and Table II, knowing that they are to be
used in or for the illicit cultivation, production or
manufacture of narcotic drugs or psychotropic
substances;
(v) The organization, management or financing of any
of the offences enumerated in (i), (ii), (iii) or (iv)
above;
Article 12 Substances Frequently Used in the Illicit
Manufacture of Narcotic Drugs or Psychotropic Substances
sets out the following obligations:
1. The Parties shall take the measures they deem appropriate
to prevent diversion of substances in Table I and Table II
used for the purpose of illicit manufacture of narcotic drugs
or psychotropic substances, and shall co-operate with one
another to this end.
The Article sets out the measures to be taken in regard to the
substances in Tables 1 and II. Whilst these generally apply
equally to chemicals in both Table I and II, the substances
in Table I are subject to the monitoring of exports.
Article 12 sets out measures to be taken to monitor the
manufacture and distribution of substances in Table 1 and
Table II:
(a) Without prejudice to the generality of the provisions
contained in paragraph 1 of this article and the pro-
visions of the 1961 Convention, the 1961 Convention
as amended and the 1971 Convention, the Parties shall
take the measures they deem appropriate to monitor the
Page 7 CBWCB 51
 manufacture and distribution of substances in Table I (iv) Expected point of entry and expected date of
and Table II which are carried out within their territory. dispatch;
(b) To this end, the Parties may: (v) Any other information which is mutually agreed
(i) Control all persons and enterprises engaged in the upon by the Parties.
manufacture and distribution of such substances; (b) A Party may adopt more strict or severe measures of
(ii) Control under licence the establishment and control than those provided by this paragraph if, in its
premises in which such manufacture or distribution opinion, such measures are desirable or necessary.
may take place;
(iii) Require that licensees obtain a permit for
The substances in Table 1 and Table II, including the
conducting the aforesaid operations amendments made by the Commission on Narcotic Drugs
(iv) Prevent the accumulation of such substances in the in force on 23 November 1992 are as follows:
possession of manufacturers and distributors, in Table I Table II
excess of the quantities required for the normal N-acetylantranilic acid Acetic anhydride
conduct of business and the prevailing market
conditions. Ephedrine Acetone
Ergometrine Anthranilic acid
In addition, a system to monitor international trade is
Ergotamine Ethyl ether
required:
Isosafrole Hydrochloric acid
Each Party shall, with respect to substances in Table I and Lysergic acid Methyl ethyl ketone
Table II, take the following measures:
3,4-methylene- Phenylacetic acid
(a) Establish and maintain a system to monitor international dioxyphenyl-2-propanone
trade in substances in Table I and Table II in order to 1-phenyl-2-propanone Piperidine
facilitate the identification of suspicious transactions.
Piperonal Potassium permanganate
Such monitoring systems shall be applied in close
co-operation with manufacturers, importers, exporters, Pseudoephedrine Sulphuric acid
wholesalers and retailers, who shall inform the Safrole Toluene
competent authorities of suspicious orders and The salts of the substances The salts of the substances
transactions. listed in this Table whenever listed in this Table whenever
(b) Provide for the seizure of any substance in Table I or the existence of such salts is the existence of such salts is
Table II if there is sufficient evidence that it is for use possible possible (the salts of
in the illicit manufacture of a narcotic drug or hydrochloric acid are
psychotropic substance. specifically excluded)
(c) Notify, as soon as possible, the competent authorities
and services of the Parties concerned if there is reason Provisions are also included in this Article for the
to believe that the import, export or transit of a substance amendment of the Tables:
in Table I or Table II is destined for the illicit 2. If a Party or the [International Narcotics Control] Board
manufacture of narcotic drugs or psychotropic has information which in its opinion may require the
substances, including in particular information about inclusion of a substance in Table I or Table II, it shall
the means of payment and any other essential elements notify the Secretary-General and furnish him with the
which led to that belief. information in support of that notification. The
(d) Require that imports and exports be properly labelled procedure described in paragraphs 2 to 7 of this article
and documented. Commercial documents such as shall also apply when a Party or the Board has
invoices, cargo manifests, customs, transport and other information justifying the deletion of a substance from
shipping documents shall include the names, as stated Table I or Table II, or the transfer of a substance from
in Table I or Table II, of the substances being imported one Table to the other.
or exported, the quantity being imported or exported, 3. The Secretary-General shall transmit such notification,
and the name and address of the exporter, the importer and any information which he considers relevant, to the
and, when available, the consignee. Parties, to the Commission [on Narcotic Drugs], and,
(e) Ensure that the documents referred to in subparagraph where notification is made by a Party, to the Board. The
(d) of this paragraph are maintained for a period of not Parties shall communicate their comments concerning
less than two years and may be made available for the notification to the Secretary-General, together with
inspection by the competent authorities. all supplementary information which may assist the
The additional measures relating to the export of substances Board in establishing an assessment and the
Commission in reaching a decision.
in Table I are the following: 4. If the Board, taking into account the extent, importance
(a) In addition to the provisions of paragraph 9, and upon and diversity of the licit use of the substance, and the
request to the Secretary-General by the interested Party, possibility and ease of using alternate substances both
each Party from whose territory a substance in Table I for licit purposes and for the illicit manufacture of
is to be exported shall ensure that, prior to such export, narcotic drugs or psychotropic substances, finds:
the following information is supplied by its competent (a) That the substance is frequently used in the illicit
authorities to the competent authorities of the importing manufacture of a narcotic drug or psychotropic
country: substance;
(i) address of the exporter and importer and, when (b) That the volume and extent of the illicit manufacture
available, the consignee; of a narcotic drug or psychotropic substance creates
(ii) Name of the substance in Table I; serious public health or social problems, so as to
(iii) Quantity of the substance to be exported; warrant international action, it shall communicate

CBWCB 51 Page 8 March 2001

 to the Commission an assessment of the substance,
including the likely effect of adding the substance
to either Table I or Table II on both licit use and
illicit manufacture, together with recommendations
of monitoring measures, if any, that would be
appropriate in the light of its assessment.
5. The Commission, taking into account the comments
submitted by the Parties and the comments and
recommendations of the Board, whose assessment shall
be determinative as to scientific matters, and also taking
into due consideration any other relevant factors, may
decide by a two-thirds majority of its members to place
a substance in Table I or Table II.
Finally, Article 12 includes an exclusion of its provisions
from pharmaceutical preparations:
14. The provisions of this article shall not apply to
pharmaceutical preparations, nor to other preparations
containing substances in Table I or Table II that are
compounded in such a way that such substances cannot be
easily used or recovered by readily applicable means.
Article 14 entitled Measures to Eradicate Illicit Cultivation
of Narcotic Plants and to Eliminate Illicit Demand for
Narcotic Drugs and Psychotropic Substances includes the
following provisions:
1. Any measures taken pursuant to this Convention by
Parties shall not be less stringent than the provisions
applicable to the eradication of illicit cultivation of
plants containing narcotic and psychotropic substances
and to the elimination of illicit demand for narcotic
drugs and psychotropic substances under the provisions
of the 1961 Convention, the 1961 Convention as
amended and the 1971 Convention.
2. Each Party shall take appropriate measures to prevent
illicit cultivation of and to eradicate plants containing
narcotic or psychotropic substances, such as opium
poppy, coca bush and cannabis plants, cultivated illicitly
in its territory. The measures adopted shall respect
fundamental human rights and shall take due account of
traditional licit uses, where there is historic evidence of
such use, as well as the protection of the environment.
3. (a) The Parties may co-operate to increase the
effectiveness of eradication efforts. .... The Parties
may agree on any other appropriate measures of
co-operation. ...
Article 20 Information to be Furnished by the Parties
requires that:
1. The Parties shall furnish, through the Secretary-General,
information to the Commission on the working of this
Convention in their territories and, in particular:
(a) The text of laws and regulations promulgated in order to
give effect to the Convention; ...
Appreciation
The central aim of these conventions is to limit the supply
of and demand for narcotic drugs and psychotropic
substances to medical and scientific needs. The measures of
control prescribed by the three conventions vary in strictness
from one group of drugs to another. For this purpose, drugs
and chemicals are listed in various schedules annexed to the
conventions according to the differences in their
dependence-producing properties, therapeutic value and risk
March 2001
of abuse, or in the case of chemicals, in relation to the impact
the control measures would have on permitted commercial
trade and on their availability for illicit use.
The Commission on Narcotic Drugs This is a
subsidiary body of the Economic and Social Council of the
United Nations. The Commission has the power to
determine whether a new drug or chemical should be listed
or whether a listed drug should be transferred to another
schedule or deleted. In doing so, it must take into account
the findings and recommendations of the World Health
Organization with respect to drugs and the International
Narcotics Control Board with respect to chemicals. The
Commission prepares comprehensive reports on its sessions
that are available on the internet as part of the Official
Records of the Economic and Social Council. These reports
include a chapter on the implementation of the international
drug control treaties.
The International Narcotics Control Board This is
the independent and quasi-judicial control organ for the
implementation of the United Nations drug conventions,
established in 1968 by the 1961 Single Convention and
replacing preceding international treaty bodies in the drug
control field. The responsibility of the INCB is to promote
government compliance with the provisions of the drug
control treaties and to assist them in this effort. It carries out
tasks in two broad areas:
a. With regard to permitted manufacture and trade in drugs,
the INCB seeks to ensure that adequate supplies are
available for medical and scientific uses and that leakage to
illicit traffic does not occur. This is achieved by the
estimates system for narcotic drugs and a voluntary
assessment system for psychotropic substances with the
cultivation, production and trade in drugs being monitored
through a statistical returns system. In addition, the INCB
also monitors government control over chemicals used in
the illicit manufacture of drugs and assists governments in
preventing diversion of these chemicals into illicit traffic.
b. The INCB identifies weaknesses in national and
international drug control systems and helps remedy those
situations. The INCB is also responsible for assessing new
chemicals found to be used in the illicit manufacture of
drugs for possible international control. In cases where the
INCB finds that Governments are not meeting their treaty
obligations, it urges them to adopt remedial measures, and
it may bring treaty violations to the attention of the States
Parties, the Commission on Narcotic Drugs and the
Economic and Social Council.
In accordance with the requirements in the conventions, the
INCB prepares an annual report on its work containing an
analysis of the information at its disposal. Interestingly all
three conventions include language requiring the
unrestricted distribution of the reports of the INCB. For
example the 1988 Convention states in Article 23 that:
The reports of the Board shall be communicated to the
Parties and subsequently published by the
Secretary-General. The Parties shall permit their
unrestricted distribution.
The INCB annual report and its supplements, available via
http://www.incb.org/, provides a comprehensive survey of
Page 9 CBWCB 51
the drug control situation in various parts of the world. As
an impartial body, the INCB seeks to identify and predict
dangerous trends and suggests necessary measures to be
taken. Its annual report includes a section entitled
“Operation of the international drug control system” which
reviews the status of adherence to the treaties and
cooperation with governments during the previous year to
implement the drug control system. The annual report is
supplemented by technical reports on narcotic drugs and
psychotropic substances giving a detailed account of
estimates of annual legitimate requirements in each country
as well as data on the permitted production, manufacture,
trade and consumption of these drugs worldwide.
The annual report is supplemented by the report to the
Commission on Narcotic Drugs which contains an analysis
of measures governments have taken against the diversion
of precursors and essential chemicals and trends in illicit
trafficking in such substances.
The UN Drug Control Programme (UNDCP) was
founded in 1991 and has the following main objectives:
a. To provide effective leadership for all UN drug control
initiatives
b. To anticipate and help to prevent developments that
could aggravate illicit drug production, trafficking and
abuse
c. To be a world wide centre of expertise and repository of
information in all fields of drug control
d. To assist the CND and INCB in implementing their
treaty functions
e. To provide technical assistance to help Governments to
establish adequate drug control structure and strategies,
as well as technical cooperation in the different fields of
drug control.
The UNDCP budget document for 1998–99, available via
www.undcp.org, includes information on a total of 295
ongoing projects divided into four main areas: Policy
support, legislation and advocacy; Prevention and reduction
of drug abuse; Elimination of illicit crops; and Suppression
of illicit drug trafficking. The budget for 1998–99 was
some $218 million; most of this (about three-quarters) is
earmarked by the donor governments for specific projects.
Conclusions
The three drug conventions together control a significant
number of narcotic drugs (118), psychotropic substances
(111) along with precursors and essential chemicals (22)
used in the illicit manufacture of narcotic drugs and psycho-
tropic substances. The number of parties to all three conven-
tions is close to 160 and it is evident that states continue to
accede to them as a result of the efforts of the INCB to further
the aims of the treaties and achieve universality.
The narcotic drugs, psychotropic substances, precursors
and essential chemicals are assigned to Schedules or Tables
which are associated with various control measures. The
materials controlled are all dual purpose with the
conventions and the INCB seeking to limit the cultivation,
production, manufacture and use of drugs to an adequate
amount required for medical and scientific purposes whilst
preventing illicit cultivation, production and manufacture of,
and illicit traffic in and use of drugs. The essential chemicals
CBWCB 51
controlled under the 1988 Convention include materials
such as acetic anhydride and potassium permanganate, key
chemicals in the manufacture of heroin and cocain
respectively, although the quantities diverted for illicit drug
production is very much less tham 1 per cent of the permitted
use of these chemicals.
The control measures include both national monitoring
and controls as well as export and import measures. One of
the provisions under Article 13 of the 1971 Convention on
Psychotropic Substances enables states parties to notify the
prohibition of the importation of specific substances in
Schedules II, III or IV of the Convention. 24 of the states
parties have used this notification procedure for the
prohibtion of the importation of several substances; for
example, India has prohibited 31 substances and Pakistan
34. Export and import authorizations are required by
national legislation for all substances in Schedule III of the
1971 Convention by 150 countries and for all substances in
Schedule IV of that Convention by some 140 countries.
The annual report of the INCB together with its
supplements is a much sharper and more pointed document
than is usual in annual reports of international organizations.
This doubtless reflects the independent nature of the INCB
which, for example, in its annual report names the states
which have not acceded to the individual conventions or, in
the case of the Single Convention of 1961 have yet to accede
to the Convention as amended by the 1972 Protocol. It also
does not hesitate to name states parties which have
shortcomings in regard to their implementation of particular
aspects of the Conventions.
In the context of the chemical and biological weapons
conventions, many of the substances controlled under the
three drug conventions are chemicals of biological origin
and would also be covered by the general purpose criteria in
either or both the CWC and the BWC in respect of uses
prohibited under these conventions. It is evident that the
substances controlled under the drug conventions are
dual-purpose materials and that the associated export-import
control regimes are intended increasingly to enable the
exporting country to seek validation of the import request by
the authorities of the importing countries before authorising
the export. It is thus very clear that this is yet another area
in which the global trend is towards greater control of
exports and imports.
A number of different dual-use material regimes now
exist — such as those for chemical warfare agents and
precursors; banned and severely restricted chemicals;
pathogens and genetically modified organisms; and narcotic
drugs and psychotropic substances. It is evident that all
show that the monitoring and control of exports and imports
in dual-use materials is becoming the standard as more and
more countries around the world want to safeguard the
public health and the environment and thereby promote
safety, security and prosperity. The trend is increasingly
towards more controls over potentially harmful materials to
ensure that these are not misused to cause harm to people or
to states.
Taking the wider scene into consideration, it is evident
that the trend is increasingly — whether chemicals,
biological organisms or drugs and psychochemicals are
concerned — towards a world in which governments want
Page 10 March 2001
to be consulted prior to potentially dangerous dual use
materials and equipment being introduced into their country
and the exporting governments equally want to be assured
that the export is for legitimate purposes and is not going to
be misused. It is probable that some 20 to 25 years hence it
would be regarded as irresponsible to transfer any
potentially dangerous dual use materials and equipment
without first receiving confirmation from the importing
country that the transfer is for legitimate purposes. Such a
situation would certainly meet the obligations placed on
states parties under the relevant Articles of the CWC and
BWC not to transfer chemicals or biological agents and
toxins for prohibited purposes.
Progress in The Hague
Developments in the Organization for the Prohibition of Chemical Weapons
The period under review, from late December 2000 until
early March 2001 was dominated by discussion of the
budget of the Organization for the Prohibition of Chemical
Weapons (OPCW) and the programme of work of its
Secretariat for 2001. The two main difficulties encountered
were a cash flow problem and the identification of several
structural problems in the budget, especially in relation to
reimbursements under Article IV and VI.
A large shortfall in the 2000 budget and forecasted
underfunding for the 2001 programme of work, resulting
from a convergence of numerous factors, both internal and
external, was revealed in the first weeks of the year and
intensive efforts were undertaken to address deficiencies in
the process by which the OPCW budget is constructed and
approved. The Secretariat’s response to the financial
situation included the imposition of austerity measures
designed to bring the programme of work in line with the
funds available; consequently, reductions in verification and
international cooperation activities, as well as in other areas,
were implemented during the period under review.
The Organization gained two further members following
the ratifications by Zambia and Dominica of the Chemical
Weapons Convention (CWC). Both the Southern African
Development Community (SADC) and the Organization of
Eastern Caribbean States (OECS), regional organizations to
which Zambia and Dominica belong, were the focus of
Secretariat outreach and international cooperation
programmes in 2000. By mid-March, after entry into force
of the Convention for these two countries, the Convention
would have 143 states parties and 31 signatories. The 1972
Biological and Toxin Weapons Convention (BWC) also has
143 states parties, 115 of which it shared with the CWC.
In addition, the OPCW hosted the “International
Symposium on Cooperation and Legal Assistance for the
Effective Implementation of International Agreements”
during 7–9 February. This represented one of the first
opportunities for individuals from government agencies,
international organizations, national police forces, and the
academic community, concerned with the prevention and
March 2001 Page 11
Reference
1. Graham S Pearson, ‘The CWC General Purpose Criterion:
How to Implement?’, CBW Conventions Bulletin, no 49,
September 2000, pp 1–7 and Graham S Pearson, ‘Toxic
Chemicals: A Multilateral Export–Import System’, Chemical
Weapons Convention Bulletin, no 34, December 1996, pp 1,
3–8.
Graham S. Pearson is Visiting Professor of International
Security at the University of Bradford. He can be reached
by facsimile at +44-1672-539582.
Quarterly Review no 33
prosecution of international crime, to come together to
discuss the penal enforcement of international treaties like
the CWC. The proceedings included a presentation of the
Harvard Sussex Program Draft Convention to Prohibit
Biological and Chemical Armament Under International
Criminal Law by HSP Director Mathew Meselson.
Executive Council
The twenty-third session of the Executive Council met
during 20–23 February.
The Council also met in informal sessions during the
period under review. The first such meeting took place on
26 January — following a briefing given to Council
members by the Director-General on 17 January — and
addressed the financial situation of the Organization
including matters relating to the 2000, 2001, and 2002
budgets. Informal consultations on the 2001 budget led by
coordinator Mark Albon (South Africa), critical because of
the austerity measures applied by the Secretariat, continued
on 12 February. An additional informal meeting was
convened on 19 February to discuss progress on chemical
weapons destruction and the destruction and conversion of
chemical weapon production facilities (CWPFs). The next
informal meeting on the same topic was scheduled to take
place on 2 April, and similar meetings were planned for three
additional occasions during 2001.
In his opening statement to the Council, the
Director-General warned against the degradation of the
Organization’s programme of work — especially as regards
the verification regime and international cooperation —
resulting from the current impasse over the Organization’s
budget and finances. He highlighted four challenges facing
the Organization in the immediate future:
• universal membership to the treaty, especially in
Northeast Asia and the Middle East where adherence to
the CWC could play an important role mitigating the
ongoing violence and tension in those regions;
CBWCB 51